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17/02 Meghna R
Lead at Randstad

Views:798 Applications:173 Rec. Actions:Recruiter Actions:11

Manager/Senior Manager/AVP/VP - Compliance - Wealth Management Firm (5-15 yrs) Premium

Mumbai Job Code: 893330

Preferred candidates from Wealth Management companies only


Qualified as Company Secretary with LLB or CA degree preferred

Work Experience (highlight) :

- Work experience of 5-12 years. Must have exposure & experience in managing compliance aspects and understanding & awareness about wealth management business in financial service sector.

Core Purpose of the Role :

- Manage Compliance aspects of Investment Advisory / Distribution Business

- Ensure all regulatory submissions / filing are done in time and record is maintained

- All relevant policies are regularly updated and ensure that the Entities are compliant with all statutory approvals

- Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)

- Ensure that all Advisory & Distribution transactions are executed as per regulatory guidelines and within timelines

- Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations

- Ensure timely completion of Internal/External Audits

- Assist in various compliance matters / opinions in day to day activities, Review of various documents and ensure that all providers of products / services have contractual relationships inforce

- Managing customer (internal) queries in a timely manner to resolve grievances

- Regular updates / training to employees related to compliance, AML, Insider Trading etc and ensure that the Sales, Advisory, Product & Operations team is compliant in all respects

- Review of surveillance alerts and action on the same


- Expertise in liaison work with various exchanges (SEBI)

- Knowledge in company law

- Excellent communication

- Solution Orientation

- Positive Attitude

- Decision Making ability

Women-friendly workplace:

Maternity and Paternity Benefits

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